undertake securities dealing that is limited only to debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or

2,358.52 Million Baht. However, per IFRS 15 (revenue from contracts with customers) the Group could not record revenue for procurement and fabrication service which not yet deliver to the client. As IFRS 15

investment advice or investor contact.  Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not

that during 4 January 2013 - 15 October 2014 {A}, then working for Thanachart Securities Public Company Limited, used the trading account of a client who was his mother to trade securities for himself

(the "Temporary Global Note"), which will be deposited on or about 1 October 2020 (the "Closing Date") with a common depositary for Euroclear Bank SA/NV ("Euroclear") and Clearstream Banking, société

applying for a digital asset exchange licence.? The applicants failed to meet the approval criteria regarding important work systems. For example, the systems for custody of client assets and Know Your

Board regarding Rules, Conditions and Procedures for https://publish.sec.or.th/nrs/6797pe.doc .. loss in derivatives position and the balance amount of the margin of customer marked to market; (4) The

customer marked to market; (4) The amount and type of property to be deposited following a margin call by the derivatives broker to a https://publish.sec.or.th/nrs/4642pe.doc Translation appointment of a

different branches:   (1)  In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual fund (RMF) to a client; she recommended that

securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “ institutional client ” means a person who makes transactions with a securities company in